Jeffery N. Wilburn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffery Neill Wilburn, who also goes by Jeff Wilburn, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1985. Jeffery had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2017 - December 27, 2018
PRUCO SECURITIES, LLC.
July 5, 2017 - December 27, 2018
PRUCO SECURITIES, LLC.
May 28, 2013 - June 12, 2017
CETERA INVESTMENT ADVISERS LLC
May 10, 2013 - June 12, 2017
CETERA FINANCIAL SPECIALISTS LLC
March 23, 1999 - May 6, 2013
CANTELLA & CO., INC.
March 22, 1999 - May 6, 2013
CANTELLA & CO., INC.
January 28, 1998 - January 21, 1999
MORGAN KEEGAN & COMPANY, LLC
October 15, 1990 - February 9, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
June 1, 1988 - September 26, 1990
CIBC WORLD MARKETS CORP.
September 3, 1985 - June 28, 1988
ROTAN MOSLE INC.
May 23, 1985 - September 10, 1985
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
